LEI-CDF Version 3.1
Documentation last updated: 2021-03-04
Introduction
As the Global LEI System (GLEIS) High Level Principles stipulate, the GLEIS should uniquely and
unambiguously identify participants to financial transactions. The ISO 17442 Legal Entity
Identifier (LEI) standard defines the following set of attributes as the most essential
elements of identification:
- The name of the legal entity as recorded in an official register, or otherwise in the entity’s constituting documents.
- Where applicable, the name of the official register in which the legal entity is registered and its identifier in that registry.
- The legal form of the entity as represented in ISO 20275.
- The address of legal formation, and the country in which it is located as represented in the ISO 3166 series.
- The entity creation date, being the date on which the entity was first established, as represented in ISO 8601.
- The address of the headquarters of the legal entity or the international branch.
- The status of the legal entity regarding whether or not the entity is legally registered or otherwise constituted, and operating.
- The status of the validation, publication and updating of the LEI and its supporting data record.
- The date of the first LEI assignment, being the date of publication of the identifier and its supporting data record as represented in ISO 8601.
- The date of last update of the LEI data record as represented in ISO 8601, and the reason for the update.
- The effective date of a legal entity event, being the date on which the event was effective in the legal jurisdiction in which the entity is formed, as represented in ISO 8601.
The LEI Common Data File format (LEI-CDF) was proposed by the Legal Entity Identifier
Regulatory Oversight Committee (LEI ROC) as the additional standard necessary to support the
GLEIS in maintaining exclusive assignment of LEIs (one LEI per entity) and identifying,
remediating data quality issues, and supporting use of the data. It is maintained and
developed as a technical standard by the Global LEI Foundation (GLEIF) with the collaboration
and oversight of the LEI ROC. The LEI-CDF specifies in more detail:
- The semantic content (definitions) of the ISO 17442 attributes.
- Some additional elements, such an indication of the status of the information, necessary
for effective use of the data.
- The form the information takes at any given LOU, such that it can be made to conform to
a common standard.
All LOUs use this file format to publish LEIs and their reference data.Audience for
this document
The target audience for this standard includes:
- All Local Operating Units (as well as candidate LOUs) of the GLEIS.
- All users or potential users of LEI data.
- All financial regulators who consume LEI data.
Status of this document
This section describes the status of this document at the
time of its publication. Later versions may supersede this document. The most up to date
version will always be available from www.gleif.org.
The file format references and
honors previous completed work published by the LEI ROC in a document entitled "LEI Data File
Format 1.0" (19 June 2014; available from www.leiroc.org).
Terminology and Typographical Conventions
Within this document, the terms, as will be SHALL and MAY, are to be interpreted as specified in Annex G of the ISO/IEC Directives, Part 2, 2001, 4th edition:
- SHALL (NOT): Requirement
- MAY: Permission / Possibility
When used in this way, these terms will always be shown in ALL CAPS; when these words appear in ordinary typeface, they are intended to have their ordinary English meaning.
The following typographical conventions are
used throughout the document:
- ALL CAPS type is used for the special terms enumerated above.
-
Monospace type
is used to denote programming language, UML, and XML
identifiers, as well as for the text of XML documents.
Cardinalities
- The cardinality of each element (the number of times it SHALL or MAY appear in an XML
data file conforming to this schema) is expressed as a number range in the format {minimum
occurrences, maximum occurrences} in the XML examples shown below the notes of its
containing element. This notation is equivalent to the following explanations in
words:
- Mandatory, unique:
{1,1}
- the element SHALL appear, exactly once.
- Mandatory, repeatable:
{1,unbounded}
- the element SHALL appear at least
once. It may be repeated any number of times.
- Optional, unique:
{0,1}
- the element MAY be omitted; it MAY appear once
at most.
- Optional, repeatable:
{0,unbounded}
- the element MAY be omitted. It MAY
be repeated any number of times.
Please note:
- The default cardinality is {1,1} (mandatory, unique). This document highlights when an
element differs from this either by its
minOccurs
(minimum occurrences) or
maxOccurs
(maximum occurrences) value, or both.
- XML cardinalities apply in the context of any containing elements. This means that a
contained element may have a cardinality of one or more even if its containing element may
be omitted, because the contained element is mandatory given the presence
of the container.
- XML cardinalities enforce a minimum data quality and standards conformance. Other
business rules (as explained below) and data quality checks applied by GLEIF may encourage
stricter cardinalities in live implementations.
Business Rules
The accompanying documentation in addition to this Technical
Specification specifies business rules where applicable for each element. These are rules that
are not enforced by validating against the XML schema, but are still mandatory for all Common
Data File (CDF) format files.
XML Syntax
This section specifies the XML schema for an LEI data file conforming to
this standard.
XML Design Rules
- The XSD schema conforms to W3C's XML Schema specification, version 1.0.
- The XML namespace is "http://www.gleif.org/data/schema/leidata/2016".
- All interior XML elements are namespace-qualified (element form = qualified).
- All XML attributes are in the null namespace (attribute form = unqualified), with the
exception of
xml:lang
.
- Element names are upper camel case.
- Attribute name are lower camel case.
- XSD type names are upper camel case.
- Enumeration code list values are all caps with underscores.
- Elements are used in preference to attributes except for language and type
qualifiers.
- For a data element specified as having unbounded cardinality, the XML includes a single
container element whose subelements are one or more instances of the data element whose
cardinality is unbounded. The name of the container element is formed as the plural of the
name of the contained elements.
XML Schema
An XML file conforming to this standard SHALL be valid according to the
following XSD 1.0 schema.
Release Notes
Version 3.1
- New or changed elements:
- New or changed enumerated values:
-
EntityCategoryTypeEnum
- Added
RESIDENT_GOVERNMENT_ENTITY
.
- Added
INTERNATIONAL_ORGANIZATION
.
-
EntitySubCategoryTypeEnum
- Added
CENTRAL_GOVERNMENT
.
- Added
STATE_GOVERNMENT
.
- Added
LOCAL_GOVERNMENT
.
- Added
SOCIAL_SECURITY
.
Version 3.0
- New or changed elements:
- Added
EntityCreationDate
.
- Added
LegalEntityEvents
.
- Added
LegalEntityEvent
.
- Added
LegalEntityEventType
.
- Added
LegalEntityEventEffectiveDate
.
- Added
LegalEntityEventRecordedDate
.
- Added
ValidationDocuments
.
- Added
ValidationReference
.
- Added
AffectedFields
.
- Deprecated elements:
- Deprecated
AssociatedEntity
.
- Deprecated
EntityExpirationDate
.
- Deprecated
EntityExpirationReason
.
- New or changed attributes:
-
LegalEntityEvent
- Added
group_type
.
- Added
event_status
.
- Added
group_id
.
- Added
group_sequence_no
.
-
AffectedField
- New or changed enumerated values:
-
EntityCategoryTypeEnum
-
EntityStatusEnum
- Added
LegalEntityEventTypeEnum
.
- Added
CHANGE_LEGAL_NAME
.
- Added
CHANGE_OTHER_NAMES
.
- Added
CHANGE_LEGAL_ADDRESS
.
- Added
CHANGE_HQ_ADDRESS
.
- Added
CHANGE_LEGAL_FORM
.
- Added
DEMERGER
.
- Added
SPINOFF
.
- Added
ABSORPTION
.
- Added
ACQUISITION_BRANCH
.
- Added
TRANSFORMATION_BRANCH_TO_SUBSIDIARY
.
- Added
TRANSFORMATION_SUBSIDIARY_TO_BRANCH
.
- Added
TRANSFORMATION_UMBRELLA_TO_STANDALONE
.
- Added
BREAKUP
.
- Added
MERGERS_AND_ACQUISITIONS
.
- Added
BANKRUPTCY
.
- Added
LIQUIDATION
.
- Added
VOLUNTARY_ARRANGEMENT
.
- Added
INSOLVENCY
.
- Added
DISSOLUTION
.
- Added
ValidationDocumentsTypeEnum
- Added
ACCOUNTS_FILING
.
- Added
REGULATORY_FILING
.
- Added
SUPPORTING_DOCUMENTS
.
- Added
CONTRACTS
.
- Added
OTHER_OFFICIAL_DOCUMENTS
.
- Added
LegalEntityEventGroupTypeEnum
- Added
REVERSE_TAKEOVER
.
- Added
STANDALONE
.
- Added
CHANGE_LEGAL_FORM_AND_NAME
.
- Added
COMPLEX_CHANGE_LEGAL_FORM
.
- Added
LegalEntityEventStatusEnum
- Added
IN_PROGRESS
.
- Added
WITHDRAWN_CANCELLED
.
- Added
COMPLETED
.
- Deprecated enumerated values:
- Cardinality changes:
-
SuccessorEntity
was {0,1}
and is now {0,unbounded}
.
- Documentation notes:
- Several definitions of elements, attributes or enumerations have been updated and aligned with the State Transition and Validation Rules.
Version 2.1
- Cardinality changes:
-
OtherValidationAuthority
was {0,1}
and is now
{1,1}
.
- Corrections / Bug fixes:
- Missing
Extension
added (back) to LEIHeader
.
- New or changed elements:
- Additional
Extension
added to LEIRecords
.
- Documentation notes:
- Documentation notes:
- Replaced "RAL" by "RAL" in documentation.
- Replaced "Registration Authorities Code List" by "Registration Authorities List" in
documentation.
Version 2.0
- Cardinality changes:
-
LEIHeader
was {0,1}
and is now {1,1}
.
-
ContentDate
was {0,1}
and is now {1,1}
.
-
FileContent
was {0,1}
and is now {1,1}
.
-
RecordCount
was {0,1}
and is now {1,1}
.
- New or changed elements:
- Added
OtherRegistrationAuthorityID
element to capture interim free-text
registration authority information in the process of transition to a RAL entry.
- Added
OtherLegalForm
element to capture interim free-text legal form
information in the process of transition to an ELF standard code.
- Added
TransliteratedOtherEntityNames
and
TransliteratedOtherAddresses
. These contain the name and address types
dealing with transliteration, and their character content is now validated by the XML
schema.
- Added
EntityCategory
.
- Added
ValidationAuthority
.
- Added
OtherValidationAuthorities
.
-
BusinessRegisterEntityID
replaced by
RegistrationAuthority
.
-
Token500Type
replaced by Tokenized500Type
, has minimum
length of one character and may not contain any of: the carriage return (#xD), line feed
(#xA) nor tab (#x9) characters, shall not begin or end with a space (#x20) character, or
a sequence of two or more adjacent space characters.
- All elements in the
lei:
namespace with base datatype
xs:dateTime
now strictly validate according to the
LEIDateTimeProfile
datatype. This enforces the restrictions specified in
the LEI-CDF V1.0 documentation.
- Added optional
AddressNumber
.
- Added optional
AddressNumberWithinBuilding
.
- Added optional
MailRouting
address field; an optional free text address
line to hold content from other address lines containing explicit routing information
(presence indicates that this address is a routing / "care of" address).
- Replaced
Line1
by FirstAddressLine
and Line2
etc. by AdditionalAddressLine
. The order of the content of these elements
follows the order specified by the XML representation.
- The value of
RecordCount
can now only be equal to or greater than
zero.
- New or changed attributes:
- Updated
xml:lang
to specify use of the latest RFC from IETF BCP 47
(previously RFC 4646; now RFC 5646 at last schema update).
- New or changed enumerated values:
- Following enumerations now validate strongly (only the specified values are allowed at
a schema validation level; one element with a non-standard value cause the whole LEI
data to fail validation):
-
FileContentEnum
.
-
EntityStatusEnum
.
-
EntityExpirationReasonEnum
.
-
RegistrationStatusEnum
.
-
EntityNameTypeEnum
.
-
AddressTypeEnum
.
-
AssociatedEntityTypeEnum
.
-
ValidationSourcesEnum
.
- Following enumeration elements now validate by format (only values with the correct
pattern of characters are accepted; conversely, however, some schema-valid character
combinations may not be registered allowed values):
-
RegistrationAuthority
.
-
LegalForm
.
-
BusinessRegisterEnum
replaced by
RegistrationAuthorityEnum
.
-
COU_DELTA_PUBLISHED
replaced by GLEIF_DELTA_PUBLISHED
.
-
COU_FULL_PUBLISHED
replaced by GLEIF_FULL_PUBLISHED
.
-
OTHER_LEGAL
replaced by
ALTERNATIVE_LANGUAGE_LEGAL_NAME
.
- Added
PREVIOUS_LEGAL_NAME
OtherEntityName
type.
- Added
TRADING_OR_OPERATING_NAME
OtherEntityName
type.
- Added
TransliteratedOtherEntityNames
types:
PREFERRED_ASCII_TRANSLITERATED_LEGAL_NAME
,
AUTO_ASCII_TRANSLITERATED_LEGAL_NAME
.
- Added
TransliteratedOtherAddress
types:AUTO_ASCII_TRANSLITERATED_LEGAL_ADDRESS
,
AUTO_ASCII_TRANSLITERATED_HEADQUARTERS_ADDRESS
,
PREFERRED_ASCII_TRANSLITERATED_LEGAL_ADDRESS
,
PREFERRED_ASCII_TRANSLITERATED_HEADQUARTERS_ADDRESS
.
- Documentation notes:
- Replaced "pre-LOU" by "LOU" in documentation.
- Renamed all enumeration elements, updating suffix "Enum1.0" to "Enum", indicating that
these are the definitive enumerated values.
Version 1.0
The first release. Please find the published specification of LEI-CDF
V1.0 at https://www.gleif.org/content/2-about-lei/5-common-data-file-format/lou-20140620.pdf
Abstract Data Content
This section specifies the abstract data content of a data file
conforming to this standard. A data file conforming to this standard SHALL consist of:
- An LEIHeader.
- Zero or more LEI Data Records.
LEI File Header
The LEI File Header describes the context for the LEI Data Records
contained in the main body of the file. The header exists to answer such questions as where
the data came from, when it was collected into this file, etc. The content of the header SHALL
NOT be required to interpret the data content of any LEI Data Record; each LEI Data Record is
self contained. LEI Data Record
An LEI Data Record describes a single LEI
registration. Each LEI Data record in a file conforming to this standard SHALL include data
elements as described below: LEI
The ISO 17442-compliant LEI of the legal entity
described by this LEI Data Record. The LEI is assigned by the LOU.
A value of type
LEIType
in a file conforming to this standard SHALL be a 20-character Legal
Entity Identifier conforming to ISO 17422. Conformance to ISO17442 includes having correct
check digits. Entity
Attributes describing the legal entity itself. The
Entity
data is supplied by the legal entity, and recorded and published by the
LOU. Registration
Attributes describing the registration of this LEI with an LOU. The
Registration
data is maintained by the LOU. Extension
The optional
Extension
section of an LEI record may be used to include additional data not
defined in this standard. This may include data specific to an LOU, data specific to a
publisher of LEI data, and so on.
For example, an LOU may use Extension
to
publish additional data elements it collects as part of registration.
The following rules
SHALL be observed:
- Each XML element included in the content of the
Extension element
SHALL be
in an XML namespace that is not null and not equal to the XML namespace of the LEI Data
File as specified in this standard.
- The XML namespace for an
Extension
element SHALL be a namespace which the
creator of the extension element exclusively or jointly controls, or from which the
creator re-uses existing elements and their definitions, e.g. a namespace derived from the
Internet Domain Name of the creator, a namespace agreed upon by a group of trading
partners, etc.
- An
Extension
element SHALL NOT be defined in such a way as to require the
recipient of the file to recognize the Extension
element in order to
interpret the data elements specified in this standard. A recipient of the file SHALL be
able to ignore all Extension
elements and still interpret the standard
content correctly.
- A recipient of a data file conforming to this standard SHALL NOT reject a file solely
because it contains extensions not understood by the recipient. A recipient SHALL be
prepared to accept a file containing extensions and ignore any it does not understand,
provided that the file complies to this standard.
Contains the file structure for the whole LEI data records file as specified
in the XML datatypes below.
Contains the file upload information for this LEI data
file.
Container for all of the LEIRecord
elements submitted with
this file.
The date and time as of which the data contained in the file is
valid.
The LEI of the LEI Issuer that created the content of this file.
A code describing the content of this LEI data file.
The date and time of the baseline relative to which this file contains
new or changed LEI data records.
The number of LEI data records in this file. Can be a positive whole (integer) number, or zero (0).
A structure for adding further elements in to the LEI data file header
in anticipation of a new version, by nesting a series of XML elements with this content
model within the NextVersion
element, one for each new minor version of the
schema, postpending a serial number (1,2,3...) to the element name upon each
iteration.
This lei:Extension element may contain any additional elements required
to extend the LEIHeader.
Contains LEI reference data including details of the LEI's registration with the ManagingLOU
.
This lei:Extension element may contain any additional elements required
to extend the LEIRecords container.
The ISO 17442 compatible identifier for the legal entity described in
the Entity
section.
The Entity container element contains the legal entity's reference data,
enabling identification.
The Registration
container element contains all information
on the legal entity's LEI registration with the
ManagingLOU
.
A structure for adding further elements in to the LEI Data Record in
anticipation of a new version, by nesting a series of XML elements with this content
model within the NextVersion
element, one for each new minor version of the
schema, postpending a serial number (1,2,3...) to the element name upon each
iteration.
This lei:Extension element may contain any additional elements required
to extend the LEIRecord.
The legal name of the legal entity.
An optional list of other names (excluding transliterations) for the
legal entity.
An optional list of ASCII-transliterated (i.e. Latin- or Romanized)
representations of names for the legal entity.
The address of the legal entity as recorded in the registration of the legal entity in its legal jurisdiction.
The address of the headquarters of the legal entity.
An optional list of other addresses for the legal entity, excluding
transliterations.
An optional list of transliterated addresses for the legal
entity.
Information about the official authority in the legal entity's jurisdiction of legal registration, for example a business registry, and the corresponding identification of the legal entity by that official source.
The jurisdiction of legal formation of the legal entity; i.e. where the LegalForm of the legal entity originates.
Indicates (where applicable) the category of legal entity identified by this LEI data record, as a more specific category within the broad definition given in ISO 17442. These categories are based on use cases specified in LEI-ROC policies, found at http://www.leiroc.org/list/leiroc_gls/index.htm.
Indicates and specifies further (where applicable) the sub-category (sub-sector) of Legal Entity identified by this LEI Record and already categorized by the EntityCategory field.
The legal form of the legal entity.
Another entity associated with this entity if needed to fully identify this entity or to place it in an appropriate context. (Deprecated as of LEI-CDF 3.0)
The operational and/or legal registration status of the legal entity (may be ACTIVE
, INACTIVE
or NULL
).
The date on which the legal entity was first established, as represented by ISO 8601 (as defined in ISO 17442).
The date that the legal entity ceased to operate, whether due to dissolution, merger or acquisition. (Deprecated as of LEI-CDF 3.0)
The reason that a legal entity ceased to exist and/or operate. (Deprecated as of LEI-CDF 3.0)
One or more Legal Entities that continue or replace this LEI.
Container for a finite number of events specified by the LEI ROC in the life of a legal entity that would impact the Reference Data in the Global LEI System.
A structure for adding further elements in to the Entity
section of the LEI data record in anticipation of a new version, by nesting a series of
XML elements with this content model within the NextVersion
element, one
for each new minor version of the schema, postpending a serial number (1,2,3...) to the
element name upon each iteration.
The date of the first LEI assignment, being the date of publication of the identifier and its supporting data record as represented in ISO 8601.
Date/time the LEI record was most recently updated.
The status of the legal entity's LEI registration with the
ManagingLOU
.
The next date by which the LEI registration should be renewed and
re-certified by the legal entity.
The LEI of the LOU that is responsible for administering this LEI
registration.
The level of validation of the reference data provided by the
registrant.
Information about the (primary) official authority in the legal entity's jurisdiction of legal registration, for example a business registry, and the corresponding identification of the legal entity by that official source used to validate the legal entity reference data.
An optional list of additional registration authorities used by the LEI
Issuer to validate the entity data.
A structure for adding further elements in to the
Registration
section of the LEI Data Record in anticipation of a new
version, by nesting a series of XML elements with this content model within the
NextVersion
element, one for each new minor version of the schema,
postpending a serial number (1,2,3...) to the element name upon each
iteration.
The mandatory first address line element.
Optional, additional structured version of an external house number, or
range of numbers, contained in one of the address line elements. This could be a
numeral, a letter or code made up of mixed characters (e.g. 221B).
Optional, additional structured version of an internal location number,
or range of numbers, contained in one of the address line elements.This could be a
numeral, a letter or code made up of mixed characters (e.g. 13) of a floor, suite or
apartment within a building identified e.g. by an AddressNumber
element.
Optional free text address line to hold content from other address lines
containing explicit routing information (this element's presence indicates that this
address is a routing / "care of" address.
One to three optional additional address line
elements.
The mandatory name of the city.
The (optional) 4- to 6-character ISO 3166-2 region code of the
region.
The 2-character ISO 3166-1 country code of the
country.
The (optional) postal code of this address as specified by the local
postal service.
The language in which all of the string-valued components of this address
are expressed. An IETF Language Code conforming to the latest RFC from IETF BCP 47. Note
that the first characters of an IETF Language Code, up to the hyphen (if any), are all
lowercase, and those following the hyphen (if any) are all uppercase.
The mandatory first address line element.
Optional, additional structured version of an external house number, or
range of numbers, contained in one of the address line elements.
Optional, additional structured version of an internal location number,
or range of numbers, contained in one of the address line elements.
Optional free text address line to hold content from other address lines
containing explicit routing information (this element's presence indicates that this
address is a routing / "care of" address.
Optional additional address line elements.
The mandatory name of the city.
The (optional) 4- to 6-character ISO 3166-2 region code of the
region.
The 2-character ISO 3166-1 country code of the
country.
The (optional) postal code of this address as specified by the local
postal service.
The language in which all of the string-valued components of this address
are expressed. An IETF Language Code conforming to the latest RFC from IETF BCP 47. Note
that the first characters of an IETF Language Code, up to the hyphen (if any), are all
lowercase, and those following the hyphen (if any) are all uppercase.
The LEI of an entity associated with the LEI of this
registration.
The name of an entity associated with the LEI of this
registration.
The type of association represented by this AssociatedEntity instance.
The reference code of the registration authority, taken from the
Registration Authorities Code List maintained by GLEIF.
A legacy / historical reference code of a registration authority which is not yet entered in the Registration Authorities Code List (RA list) maintained by GLEIF, or the designation of an interim register until such time as an entry from RA list can be delivered.
The identifier of the entity at the indicated registration authority.
An additional registration authority used by the LOU to validate the
entity data.
The reference code of the registration authority, taken from the Registration Authorities Code List (RA list) maintained by GLEIF.
A legacy / historical reference code of a registration authority which is not yet entered in the Registration Authorities Code List (RA list) maintained by GLEIF, or the designation of an interim register until such time as an entry from RA list can be delivered.
The identifier of the entity at the indicated registration authority.
The type of address represented by this OtherAddress
instance.
An alternative address for the legal entity excluding transliterations.
A transliterated version of one of the addresses for the legal entity.
Type of alternative name for the legal entity.
An alternative name or representation of a name for the legal entity,
excluding transliterations.
Type of alternative name for the legal entity.
The LEI of the successor entity.
The name of the successor entity.
A 2-character country code conforming to ISO 3166-1 alpha-2. Please note
that the XML schema validates for all CountryCode
values consisting of 2
upper-case Latin letters; some possible combinations may not be valid ISO 3166 entries. A
current code from the ISO-approved list SHALL be used. See
http://www.iso.org/iso/home/standards/country_codes.htm for more details.
A 4- to 6-character ISO 3166-2 region code of the region. Please note that
the XML schema validates for all CountryCode
values consisting of 2 upper-case
Latin letters; some possible combinations may not be valid ISO 3166 entries.
An element of this type has minimum length of one character and may not
contain any of: the carriage return (#xD), line feed (#xA) nor tab (#x9) characters, shall
not begin or end with a space (#x20) character, or a sequence of two or more adjacent space
characters.
The file contains all LEI Data Records published by an LOU (all LEI Data
Records for which the LOU is the ManagingLOU
) as of the date/time the file
is created.
The file contains those LEI Data Records published by an LOU (all LEI
Data Records for which the LOU is the ManagingLOU
) which are new or changed
since the DeltaStart
date specified in the header, as of the date/time the
file is created.
The file contains all LEI Data Records published by GLEIF (including all
LEI Data Records from all LOUs) as of the date/time the file is created.
The file contains those LEI Data Records published by GLEIF (including
all LEI Data Records from all LOUs) which are new or changed since the
DeltaStart
specified in the header, as of the date/time the file is
created.
The file contains records matching criteria specified in a query.
Please note that the XML schema validates for all
RegistrationAuthority
values consisting of the upper-case Latin letters
"RA" followed by 6 digits; some possible combinations may not be valid Registration
Authority Code List (RA list) entries. A current code from the GLEIF-maintained list SHALL be
used used. Values of the RegistrationAuthorityEnum
code list are maintained
by GLEIF through the Registration Authorities Code List (RA list), available at
www.gleif.org.
The legal entity is a general legal entity.
The legal entity is a branch of another legal entity.
The legal entity is an investment fund defined as a collective investment scheme (or pooled investment) beneficially owned by multiple investors and managed on behalf of those investors by an asset manager or by the fund itself.
The legal entity is an individual acting in a business
capacity.
The legal entity is a non-market producer, part of a central, state or local government, social security funds or a non-profit institution (NPI) controlled by government units.
The legal entity is a non-resident unit created by international agreements or other arrangements for the provision of non-market services or financial intermediation at the international level.
The legal entity is a central government subsector which consists of the institutional units plus non-profit institution (NPI) controlled by the central government institutions.
The legal entity is a state government subsector which consists of the institutional units that exercise some government functions at a level below that of the central government and above that of the government institutional units existing at a local level.
The legal entity is a local government subsector which consists of local governments that are separate institutional units.
The legal entity is a social security scheme which covers a wide variety of programmes, providing benefits in cash or in kind for old age, invalidity or death, survivors, sickness and maternity, work injury, unemployment, family allowance, health care, etc.
A current code from the GLEIF-maintained list SHALL be used. Values of
the LegalFormEnum code list are maintained by ISO / GLEIF through the Entity Legal Form
(ELF), available from http://www.gleif.org.
A legacy code or textual description for the legal entity's legal form,
used until a current code from the GLEIF-maintained list can be used.
Please note that the XML schema validates for all LegalForm
values conforming to the ISO 20275 standard (section "Code Structure"); four uppercase
alphanumeric characters in any combination except for purely numeric codes. Some possible
combinations may not be valid Entity Legal Form (ELF) entries.
Registered name of the entity in an alternative language in the legal
jurisdiction in which the entity is registered.
A primary legal name previously used by this entity.
A "trading as", "brand name" or "operating under" name currently used by
this entity in addition to, but not replacing, the (primary) legal, official registered
name.
Registered address of the entity in the legal jurisdiction, in an
alternative language used in the legal jurisdiction.
Address of the headquarters of the entity, in an alternative language
used in the legal jurisdiction.
Registered address of the entity in the legal jurisdiction,
transliterated to ASCII characters, auto-transliterated by the managing
LOU.
Address of the headquarters of the entity, transliterated to ASCII
characters, auto-transliterated by the managing LOU.
Registered address of the entity in the legal jurisdiction,
transliterated to ASCII characters, provided by the entity for this
purpose.
Address of the headquarters of the entity, transliterated to ASCII
characters, provided by the entity for this purpose.
The legal entity is a fund, and the associated entity is the manager of
the fund.
As of the last report or update, the legal entity reported that it was
legally registered and operating.
It has been determined that the entity that was assigned the LEI is no longer legally registered and/or operating, as indicated by a legal entity event Reason.
The entity status is not applicable.
The entity ceased to operate.
The entity was acquired or merged with another entity.
The reason for expiry is neither of DISSOLVED
nor
CORPORATE_ACTION
An application for an LEI that has been submitted and which is being
processed and validated.
An LEI Registration that has been validated and issued, and which identifies an entity having a legal entity status of ACTIVE as of the Date of First LEI Assignment or the Date of Last Update of the LEI Data Record.
An LEI Registration that has been determined to be a duplicate
registration of the same legal entity as another LEI Registration; the DUPLICATE status
is assigned to the non-surviving registration (i.e. the LEI that should no longer be
used).
An LEI registration that has not been renewed by the NextRenewalDate
and is not known by public sources to have a legal entity status of INACTIVE.
An LEI registration for an entity that has been merged into another legal entity, such that this legal entity no longer exists as an operating entity. (Deprecated as of LEI-CDF 3.0)
An LEI registration status for an entity that has been affected by certain legal entity events.
An LEI registration that was determined to be erroneous or invalid after it was issued.
An LEI registration that was abandoned prior to issuance of an LEI
An LEI registration that has been transferred to a different LOU as the
managing LOU.
An LEI registration that has been requested to be transferred to another
LOU. The request is being processed at the sending LOU
An LEI registration is about to be transferred to a different LOU, after
which its registration status will revert to a non-pending status.
The validation of the reference data provided by the registrant has not
yet occurred.
Based on the validation procedures in use by the LOU responsible for the
record, the information associated with this record has significant reliance on the
information that a submitter provided due to the unavailability of corroborating
information.
Based on the validation procedures in use by the LOU responsible for the
record, the information supplied by the registrant can be partially corroborated by
public authoritative sources, while some of the record is dependent upon the information
that the registrant submitted, either due to conflicts with authoritative information,
or due to data unavailability.
Based on the validation procedures in use by the LOU responsible for the
record, there is sufficient information contained in authoritative public sources to
corroborate the information that the submitter has provided for the
record.
The language of this element's text content. An IETF Language Code
conforming to the latest RFC from IETF BCP 47. Note that the first characters of an
IETF Language Code, up to the hyphen (if any), are all lowercase, and those following
the hyphen (if any) are all uppercase.
Character Codes Allowed in ASCII Transliterated Names
A
TransliteratedOtherEntityName
instance of type
PREFERRED_ASCII_TRANSLITERATED_LEGAL_NAME
or
AUTO_ASCII_TRANSLITERATED_LEGAL_NAME
, can only contain non-control characters
drawn from the "invariant subset" of ISO 646. These characters are enumerated below. The
"Hex Value" column indicates the code point value (expressed in hexadecimal) for each
character in both ISOÂ 646 and ISOÂ 10646. This is enforced by the XML
schema.
Graphic Symbol |
Name |
Hex Value |
Graphic Symbol |
Name |
Hex Value |
! |
Exclamation Mark |
21 |
M |
Capital Letter M |
4D |
" |
Quotation Mark |
22 |
N |
Capital Letter N |
4E |
% |
Percent Sign |
25 |
O |
Capital Letter O |
4F |
& |
Ampersand |
26 |
P |
Capital Letter P |
50 |
' |
Apostrophe |
27 |
Q |
Capital Letter Q |
51 |
( |
Left Parenthesis |
28 |
R |
Capital Letter R |
52 |
) |
Right Parenthesis |
29 |
S |
Capital Letter S |
53 |
* |
Asterisk |
2A |
T |
Capital Letter T |
54 |
+ |
Plus sign |
2B |
U |
Capital Letter U |
55 |
, |
Comma |
2C |
V |
Capital Letter V |
56 |
- |
Hyphen/ Minus |
2D |
W |
Capital Letter W |
57 |
. |
Full Stop |
2E |
X |
Capital Letter X |
58 |
/ |
Solidus |
2F |
Y |
Capital Letter Y |
59 |
0 |
Digit Zero |
30 |
Z |
Capital Letter Z |
5A |
1 |
Digit One |
31 |
_ |
Low Line |
5F |
2 |
Digit Two |
32 |
a |
Small Letter a |
61 |
3 |
Digit Three |
33 |
b |
Small Letter b |
62 |
4 |
Digit Four |
34 |
c |
Small Letter c |
63 |
5 |
Digit Five |
35 |
d |
Small Letter d |
64 |
6 |
Digit Six |
36 |
e |
Small Letter e |
65 |
7 |
Digit Seven |
37 |
f |
Small Letter f |
66 |
8 |
Digit Eight |
38 |
g |
Small Letter g |
67 |
9 |
Digit Nine |
39 |
h |
Small Letter h |
68 |
: |
Colon |
3A |
i |
Small Letter i |
69 |
; |
Semicolon |
3B |
j |
Small Letter j |
6A |
< |
Less-than Sign |
3C |
k |
Small Letter k |
6B |
= |
Equals Sign |
3D |
l |
Small Letter l |
6C |
> |
Greater-than Sign |
3E |
m |
Small Letter m |
6D |
? |
Question Mark |
3F |
n |
Small Letter n |
6E |
A |
Capital Letter A |
41 |
o |
Small Letter o |
6F |
B |
Capital Letter B |
42 |
p |
Small Letter p |
70 |
C |
Capital Letter C |
43 |
q |
Small Letter q |
71 |
D |
Capital Letter D |
44 |
r |
Small Letter r |
72 |
E |
Capital Letter E |
45 |
s |
Small Letter s |
73 |
F |
Capital Letter F |
46 |
t |
Small Letter t |
74 |
G |
Capital Letter G |
47 |
u |
Small Letter u |
75 |
H |
Capital Letter H |
48 |
v |
Small Letter v |
76 |
I |
Capital Letter I |
49 |
w |
Small Letter w |
77 |
J |
Capital Letter J |
4A |
x |
Small Letter x |
78 |
K |
Capital Letter K |
4B |
y |
Small Letter y |
79 |
L |
Capital Letter L |
4C |
z |
Small Letter z |
7A |
|
Space |
20 |
|
|
|
Type of alternative name for the legal entity.
Legal name of the entity transliterated to ASCII characters, provided by
the entity for this purpose.
Legal name of the entity transliterated to ASCII characters,
auto-transliterated by the managing LOU.
The language of this element's text content. An IETF Language Code
conforming to the latest RFC from IETF BCP 47. Note that the first characters of an
IETF Language Code, up to the hyphen (if any), are all lowercase, and those following
the hyphen (if any) are all uppercase.
- Elements of base data type
xs:dateTime
further restrict the ISO 8601
range of date and time format to the single format:
YYYY-MM-DDThh:mm:ss.sssTZ
where the components of the above string are as follows:
- YYYY is the year
- MM is the month (01 = January, "¦, 12 = December)
- DD is the day of the month (01 = first day of the month)
- T is the single character "˜T"
- hh is the hour (00 "“ 23)
- mm is the minute
- ss.sss is the second and milliseconds. Two digits SHALL be used for the seconds.
From one to three digits may be used for milliseconds, or omitted entirely along
with the decimal point.
- TZ is the time zone specifier, which can be one of:
- Z the single character "˜Z", denoting Coordinated Universal Time (UTC); or
- +hh:mm denoting a positive offset from UTC; or
- -hh:mm denoting a negative offset from UTC
This pattern therefore adds the restrictions, beyond the ISO 8601 specification:
- Only the specified pattern of digits, indicators and separators may be used (no
spaces or other white space characters).
- The time zone (TZ) SHALL be present, although it may be zero (Z)
if all dates and times are expressed as UTC+00:00.
- Only 3 decimal places maximum are allowed in the seconds section (ss.sss).
A date greater or equal to 1st January 0001.
A date greater or equal to 1st January 2000.
Container for a single event specified by the LEI ROC in the life of a legal entity that would impact the Reference Data in the Global LEI System.
The type of legal entity event.
The date when the legal entity event becomes legally effective.
The date when the legal entity event was recorded in the Global LEI System.
Type of source document(s) used for validating the legal entity event.
A reference to a specific document or other source used as the basis of validation for this legal entity event.
A list of LEI Record Set elements that are expected to be updated in the LEI Record Set as a result of a legal entity event.
Describes whether or not this legal entity event is part of a group of multiple or a complex event.
Describes the status of the legal entity event with regard to event timeline.
An identifier assigned to link legal entity events that are part of the same group of multiple or a complex event.
A number which indicates the sequence of each legal entity event within a group of events.
A single element and its value that is expected to be updated in the LEI Record Set as a result of a legal entity event.
The full xpath to a single element that is expected to be updated in the LEI Record Set as a result of a legal entity event.
Change in the legal name of the legal entity.
Change in the trade- or doing business name of the legal entity.
Change in the legal address of the legal entity.
Change in the headquarters address of the legal entity.
Change in the legal form of the legal entity.
Distribution of securities issued by another legal entity. The distributed securities may either be of a newly created or of an existing legal entity. For example, spin-off, demerger, unbundling, divestment.
A special case of demerger where the shareholders of the original entity are compensated for the value loss of the original entity via shares of the new entity or via dividend.
Absorption is a form of merger where there is a combination of two or more companies into an 'existing company'. In the case of absorption, only one company survives and all others lose their identity.
The acquiring legal entity purchases an international branch entity.
The transfer of all of the assets and liabilities of an International Branch to the new subsidiary entity in exchange for the transfer of securities representing the capital of the subsidiary entity receiving the transfer.
The transfer of all of the assets and liabilities of a subsidiary to an International Branch entity in exchange for the transfer of securities representing the capital of the International Branch entity receiving the transfer.
Change in legal form from a Fund legal entity structure with one or more than one sub-funds/compartments to a Fund legal entity structure without sub-funds/compartments.
A break-up is a corporate action in which a single company splits into two or more independent, separately-run companies. Regulators also can mandate break-ups of companies for anti-trust reasons.
The consolidation of Legal Entities or assets through various types of financial transactions, including mergers, acquisitions, consolidations, tender offers, purchase of assets and management acquisitions.
Legal status of a legal entity unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless (event completed).
Distribution of cash, assets or both of a legal entity. Debt may be paid in order of priority based on preferred claims to assets specified by the security (event completed).
A procedure that allows a legal entity to settle debts by paying only a proportion of the amount that it owes to creditors or to come to some other arrangement with its creditors over the payment of its debts (event completed).
The entry of a decree or order by a court or agency or supervisory authority having jurisdiction in the premises the appointment of a trustee-in-bankruptcy or similar official for such party in any insolvency, readjustment of debt, marshalling of assets and liabilities, or similar proceedings, or for the winding up or liquidation of their respective affairs (event completed).
(i) A voluntary termination of operations, (ii) a general assignment for the benefit of the legal entity’s creditors or (iii) any other liquidation, dissolution or winding up of the legal entity (excluding a Liquidity Event), whether voluntary or involuntary (event completed).
A consolidated financial (accounting) statement, prepared and
submitted to the relevant authority.
A regulatory filing providing public information on legal entities and/or their relationships.
Other documents supporting the validation of legal entities and/or their relationships.
Contract(s) attesting to the validity of egal entities and/or their relationships.
Other official document(s) attesting to the validity of legal entities and/or their relationships.
This event is part of a reverse takeover event.
Single / standalone legal entity event with no combination of multiple events.
legal entity event including change of the legal name triggered by change of the legal form.
legal entity event including change of the legal entity status triggered by change of the legal form.
The legal entity event activity and processing is in progress.
The legal entity event as announced will not occur.
The legal entity event activity and processing have been completed as of the LegalEntityEventEffectiveDate.